CCEP Investigations and Enforcement 2

Question 1

When an internal investigation reveals potential criminal conduct, which action should a compliance officer take FIRST?

Accepted Answer

Consult with legal counsel to assess reporting obligations

Answer

Consulting legal counsel first ensures the organization properly evaluates its mandatory reporting obligations before taking further action.

Question 2

Which principle requires that an investigation remain confidential to protect both the subject and the integrity of the process?

Accepted Answer

Need-to-know principle

Answer

The need-to-know principle limits investigation information to those who must be involved, protecting integrity and privacy.

Question 3

A compliance team is conducting an investigation involving a senior executive. What is the most critical step to ensure objectivity?

Accepted Answer

Engage outside counsel or independent investigators

Answer

Engaging outside counsel or independent investigators removes potential conflicts of interest when investigating senior leadership.

Question 4

Under the False Claims Act, qui tam provisions allow which of the following?

Accepted Answer

Private individuals to file suits on behalf of the government and share in any recovery

Answer

Qui tam provisions allow private whistleblowers to file suit on behalf of the government and receive a portion of any financial recovery.

Question 5

What is 'spoliation of evidence' in the context of a compliance investigation?

Accepted Answer

Deliberate destruction or alteration of evidence relevant to a legal proceeding

Answer

Spoliation is the intentional destruction, mutilation, or alteration of evidence and can result in severe legal sanctions.

(CCEP) Certified Compliance and Ethics Professional Practice Test